James Wilkie Rutherford

Watch for changes

Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

Hermes Investment Management Ltd (no longer approved here)
FRN 150000
- [FCA CF] Client dealing (1 Mar 2020 to 1 Jul 2023)
- [FCA CF] Manager of certification employee (1 Mar 2020 to 1 Jul 2023)
- [FCA CF] Material risk taker (1 Mar 2020 to 1 Jul 2023)
- CF30 Customer (18 Dec 2015 to 8 Dec 2019)
FIL Investment Services (UK) Limited (no longer approved here)
FRN 121939
- CF27 Investment Management (1 Dec 2001 to 15 Dec 2006)
FIL Investments International (no longer approved here)
FRN 122170
- CF27 Investment Management (1 Dec 2001 to 15 Dec 2006)
FIL Pensions Management (no longer approved here)
FRN 144345
- CF27 Investment Management (1 Dec 2001 to 15 Dec 2006)
FIL Investment Advisors (UK) Limited (no longer approved here)
FRN 159360
- CF27 Investment Management (1 Dec 2001 to 15 Dec 2006)

Updates to this individual's record on the FCA register.

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.